RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Teams that joined Bb&T Securities, LLC
A team is two or more advisors whose registrations through one firm ended within fourteen days of each other, from branches in the same state, and who all registered next through the same other firm. The rule reads registration dates on IAPD and nothing else: no press, no name matching, no judgment about why. When the cluster carried half or more of the firm it left, or the destination filed a succession naming it, it is typed firm absorbed rather than lift-out. When the two CRDs are one enterprise (the same business name, as with the two Wells Fargo Advisors channels, the same 75%+ owner on both Schedule As around the move, or one name the other with a word added) it is a channel change, listed only when asked for and never counted as a team in or out. Corporate re-registrations (hundreds of people moved to a new CRD in one month) are excluded before teams are formed.
| Advisors | From | To | Branch | Type | Left |
|---|---|---|---|---|---|
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bb&T Securities, LLC BD affiliated | Dallas, Tx | Wirehouse to affiliated broker-dealer or bank | Jul 31, 2020 |
| 4 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bb&T Securities, LLC BD affiliated | Birmingham, Al | Wirehouse to affiliated broker-dealer or bank | Apr 8, 2019 |
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bb&T Securities, LLC BD affiliated | Belmont, Nc +1 | Wirehouse to affiliated broker-dealer or bank | Mar 13, 2019 over 13 d |
| 2 | Truist Advisory Services, Inc. BD affiliated | Bb&T Securities, LLC BD affiliated | Roanoke, Va | Affiliated broker-dealer or bank to another | Sep 28, 2018 |
| 2 | J.J.B. Hilliard, W.L. Lyons, LLC independent RIA | Bb&T Securities, LLC BD affiliated | Charleston, Wv | RIA to affiliated broker-dealer or bank | Sep 5, 2018 |
| 3 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bb&T Securities, LLC BD affiliated | Nashville, Tn +1 | Wirehouse to affiliated broker-dealer or bank | Aug 24, 2018 |
| 4 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bb&T Securities, LLC BD affiliated | Fort Worth, Tx | Wirehouse to affiliated broker-dealer or bank | Jun 22, 2018 |
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bb&T Securities, LLC BD affiliated | High Point, Nc | Wirehouse to affiliated broker-dealer or bank | Jun 6, 2018 |
| 2 | Truist Advisory Services, Inc. BD affiliated | Bb&T Securities, LLC BD affiliated | Orlando, Fl +1 | Affiliated broker-dealer or bank to another | Jun 1, 2018 over 10 d |
| 4 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bb&T Securities, LLC BD affiliated | Fort Worth, Tx | Wirehouse to affiliated broker-dealer or bank | May 7, 2018 |
| 2 | Pnc Wealth Management BD affiliated | Bb&T Securities, LLC other | Charlotte, Nc +1 | Other | Feb 13, 2018 over 13 d |
| 4 | Wells Fargo Advisors wirehouse | Bb&T Securities, LLC other | Roanoke, Va +2 | Other | Jan 24, 2018 over 2 d |
| 2 | UBS Financial Services Inc. wirehouse | Bb&T Securities, LLC other | Houston, Tx | Other | Dec 11, 2017 |
| 6 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bb&T Securities, LLC other | Charlotte, Nc +1 | Other | Nov 30, 2017 over 14 d |
| 2 | Truist Advisory Services, Inc. other | Bb&T Securities, LLC other | Savannah, Ga | Other | Jun 7, 2017 |
| 2 | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bb&T Securities, LLC other | Mount Pleasant, Sc | Other | Feb 28, 2017 |
| 2 | Wells Fargo Advisors wirehouse | Bb&T Securities, LLC other | Mount Pleasant, Sc +1 | Other | Feb 15, 2017 |
| 3 | Invest Financial Corporation other | Bb&T Securities, LLC other | Powder Springs, Ga +2 | Other | Sep 2, 2016 |
| 2 | RBC Capital Markets, LLC national BD | Bb&T Securities, LLC other | Dallas, Tx | Other | May 20, 2016 |
| 2 | UBS Financial Services Inc. wirehouse | Bb&T Securities, LLC other | Boca Raton, Fl +1 | Other | May 3, 2016 |
| 2 | Stratton Management Company other | Bb&T Securities, LLC other | King Of Prussia, Pa | Other | Mar 10, 2016 |
| 3 | Wells Fargo Advisors wirehouse | Bb&T Securities, LLC other | Ocala, Fl +1 | Other | Oct 14, 2015 over 1 d |
| 3 | Wells Fargo Advisors wirehouse | Bb&T Securities, LLC other | Jacksonville, Fl +1 | Other | Jun 10, 2015 |